AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Name of Claimant Alan Gildenberg vs. Case Number: 07-03256 Hearing Site: Southfield, Michigan Name of Respondent Wachovia Securities, L.L.C. NATURE OF THE DISPUTE Associated Person vs. Member REPRESENTATION OF PARTIES Alan Gildenberg ("Claimant") was represented by Jay A. Schwartz. Esq., Schwartz Law Finn. P.C. Famiington Hills, Michigan. Wachovia Securities

AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: ~ Name of Claimant BMO Capitol Maricets GKST, Inc. f/k/a Griffin, Kubik. Stephens & Thompson, Inc. vs. Case Number: 07-00366 Hearing Site: Chicago, Illinois Names of Respondents Morgan Stanley DW, Inc., John G. Tofilon, Kent E. Atkinson, Jill C. Rottman, and Maria C. Tomga and Name of Counter-Claimant John G. Tofilon vs. Name of Counter-Respondent

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Case Number: 08-00119 James H. and Sonia Morton Name of the Respondent Hearing Site: Orlando. FL A.G. Edwards & Sons. Inc. Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES James H. and Sonia Morton, hereinafter collectively referred to as "Claimants", appeared pro se. For A.G. Edwards & Sons, Inc. ("AGE"), hereinafter collecti

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Names of the Claimants Mitchell Domin Jack Heller Martin Hodas Name of the Respondent Dawson James Securities, Inc. Case Number: 08-00364 Hearing Site: Boca Raton, Florida Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES For Mitchell Domin ("Domin"), Jacl^ Heller ("Heller") and Martin Hodas ("Hodas"). hereinafter collectively referred to

stipulated Award FINRA Dispute Resolution in the Matter of the Arbitration Between: Joseph Rosio (Claimant) v. Jefferies & Company (Respondent) Case Number: 08-00093 Hearing Site: Newarl< , New Jersey Nature of the Dispute: Associated Person vs. Member. REPRESENTATION OF PARTIES Claimant Joseph Rosio hereinafter referred to as "Claimant": Norman B. Arnoff, Esq., Buri< hartWexler& Hirschberg LLP, Garden City, NY. Respondent Jefferies & Company hereinaf

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: STMicroeiectronics N.V. (Claimant) vs. Credit Suisse Securities (USA) LLC (Respondent) C^se Number: 08-00512 Hearing Site: New Yori< , New Yori^ Nature of the Dispute: Customer vs. Member. REPRESENTATION OF PARTIES Claimant STMicroeiectronics N.V., hereinafter refenred to as "Claimant": Andrew Weissmann, Esq., Jenner & Block LLP, New Yoric, NY. Respondent Credit Suisse Secur

Award FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimante: Case Number 08-01033 Robert L Schneiderman and Karen S. Schneiderman TTEE UAD 05/22/91 FBO Schneiderman Family Toist Karen Schneidemnan, IRA Robert Schneidemian, IRA ResDondent: Citigroup Global Maricete Inc. f/k/a Salomon Smith Bamey Inc. Hearing Site: San Diego. Califomia Nature of the Dispute: Customers vs. Member REPRESENTATION OF PARTIES

Award FINRA Dispute Resolution In the Matter of the Arisitration Between: Claimant Case Number 08-01843 Ameriprise Financial Services, Inc. Respondent Hearing Site: Dallas. Texas Jonathan Scott Hunsucl^er Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, Ameriprise Financial Services, Inc., hereinafter referred to as "Ameriprise" or "Claimant": Wiii Stute. Esq. and Theresa H. Dykoschal^. Esq., Faegre & Benso

STIPULATED AWARD FINRA Dispute Resolution In the Matter of the Arbitration Between: Claimant: Case Number 08-01267 Ameriprise Advisor Services. Inc. (fbrmeriy H&R Blocic Financial Advisors, Inc.) Respondent: Hearino Site: Los Angeles, California Antonio Fontana Counter-Claimant: Antonio Fontana Counter-Respondent: Ameriprise Advisor Services, Inc. (fbrmeriy H&R Block Financial Advisors, inc.) Nature of the Dispute: Member vs. Associa

Award FINRA Dispute Resolution in the Matter of the AriDitration Between: Claimant Case Number: 07-02266 AIG Financial Advisors, Inc., individually and as successor in interest to SunAmerica Securities, Inc. Respondent Hearino Site: Phoenix. Arizona Laron D. Shannon III Nature of the Dispute: Member vs. Associated Person REPRESENTATION OF PARTIES Claimant, AIG Financial Advisors. Inc., individually and as successor in interest to SunAmer